Lakisha K. Brown

CETERA INVESTMENT ADVISERS LLC

DALLAS, TX

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CRD#: 5831038

Professional summary

Lakisha Kawon Brown, who also goes by Lakisha K Brown, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA INVESTMENT SERVICES LLC located in Dallas, Texas.

Lakisha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Lakisha has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 99 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lakisha K Brown

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

UBER DRIVER; Independent Driver: 1099 independent contractor. INVESTMENT RELATED: No; 25; 0; 01/04/2020; 1455 Market St #400, San Francisco CA 94103; 1099 independent contractor uber driver.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lakisha Kawon Brown's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 1170 Corportate Dr. W Suite 204, Arlington, TX 76006

RIA

CRD#: 105644

DALLAS, TX

Current

August 12, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 15340

DALLAS, TX

Current

August 12, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 13572

DALLAS, TX

Current

August 12, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10358

DALLAS, TX

Current

August 12, 2024 - Present

CETERA ADVISORS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10299

DALLAS, TX

Past

October 21, 2021 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Dallas, TX

Past

October 20, 2021 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Arlington, TX

Past

September 14, 2018 - October 14, 2021

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

December 11, 2014 - October 14, 2021

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

FORT WORTH, TX

Past

November 4, 2013 - November 6, 2014

MORGAN STANLEY

CRD#: 149777

COLUMBUS, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/9/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/26/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/30/2014

General Securities Representative Examination

General Industry/Product Exam

Series 99

Date: 11/1/2013

Operations Professional Examination

Principal/Supervisory Exam

Series 24

Date: 10/26/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Lakisha K. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lakisha Kawon Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

MORGAN STANLEY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2018

Series 63

Date: 3/26/2015

SIE

Date: 10/1/2018

Series 7

Date: 6/30/2014

Series 99

Date: 11/1/2013

Series 24

Date: 10/26/2015

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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